Compliance Analyst (Chinese Speaking)

The Opportunity:

Responsible for the review and approval of Fund marketing materials according to FINRA/SEC Communication with the Public rules for ACA Foreside Distribution clients. Materials include, but are not limited to, fact sheets, websites, reprints, presentations, reports, letters, social media and internal communications.

What you'll do:

• Perform the review and S24 principal approval (as needed) of Mutual Fund, ETF, Closed End Funds and Private Placement material to ensure compliance with FINRA Communications with the Public Rules.
• Follow policies and procedures to ensure compliance.
• Work with other team members, assisting with filing requirements as defined by FINRA Rules.
• Frequent interaction with ACA Distribution clients and staff concerning advertising review matters, providing advice and guidance to identify and resolve issues
• Monitor compliance and stay current on FINRA, SEC, and internal standards, advising appropriate parties and ensuring materials conform
• Other tasks and duties as assigned
• Train staff and clients, as appropriate

To Qualify for the role, you will have:

• Bachelors degree, or relevant experience
• 5 years previous work experience, financial services environment helpful

Preferred Licenses and Certification(s)

• SIE / FINRA Series 7 / 24

Ideally, you will have:

• 2 years experience performing ad review.

Skills and Attributes for Success:

• Ability to interpret rules and regulations and communicate them to others
• Strong organizational skills, including the capacity to multi-task
• Excellent analytical, reasoning and problem-solving skills
• Excellent written and verbal communication skills
• Excellent project management skills
• Ability to prioritize and meet multiple deadlines
• Ability to work independently under limited supervision, but also able work collaboratively as part of a team
• Attention to detail
• Ability to work independently under limited supervision, but also able work collaboratively as part of a team
• Attention to detail
• Strong computer skills, including experience with Excel, Word and databases